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PATRICIA ANN MARSH
PATRICIA ANN WALTERS, PATRICIE ANN WAWALTER
CRD#: 2210981
IA
B
MORGAN STANLEYCRD#: 149777 227 West Monroe Street
Suite 3400
Chicago, IL 60606
Suite 3400
Chicago, IL 60606
0
Disclosures
33
Years of Experience
View By:
State Registrations
B
Alabama 11/5/2024
B
Minnesota 6/1/2009
B
Arizona 6/1/2009
B
Missouri 6/1/2009
B
Arkansas 8/28/2024
B
Montana 11/5/2024
B
California 6/1/2009
B
Nebraska 3/27/2023
B
Colorado 6/1/2009
B
Nevada 6/1/2009
B
Connecticut 6/1/2009
B
New Jersey 6/23/2022
B
Delaware 1/4/2017
B
New Mexico 6/1/2009
B
District of Columbia 6/1/2009
B
New York 6/1/2009
B
Florida 6/1/2009
B
North Carolina 6/1/2009
B
Georgia 6/1/2009
B
Ohio 6/1/2009
B
Hawaii 6/1/2009
B
Oregon 6/1/2009
B
Idaho 7/30/2020
B
Pennsylvania 6/1/2009
B
Illinois 6/1/2009
B
Rhode Island 4/11/2016
IA
Illinois 6/1/2009
B
South Carolina 8/8/2023
B
Indiana 6/1/2009
B
South Dakota 11/5/2024
B
Iowa 6/1/2009
B
Tennessee 6/1/2009
B
Kansas 6/1/2009
B
Texas 6/1/2009
B
Kentucky 10/8/2024
IA
Texas 9/28/2016
B
Louisiana 6/1/2009
B
Virginia 6/1/2009
B
Maryland 6/1/2009
B
Washington 6/1/2009
B
Massachusetts 6/1/2009
B
Wisconsin 6/1/2009
B
Michigan 6/1/2009
B
Wyoming 4/8/2022
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/03/2008 - 06/01/2009 | CHICAGO, IL | |
B | 07/03/2008 - 06/01/2009 | CHICAGO, IL | |
IA | 05/01/2008 - 07/30/2008 | CHICAGO, IL | |
B | 02/10/1992 - 07/30/2008 | CHICAGO, IL | |
IA | 01/14/2002 - 12/31/2006 | CHICAGO , IL |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.